Pwm Compliance

21 hours ago

Singapore Hays Full time

**Your new company**

The company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.

**Your new role**
- Ensure compliance with applicable laws, regulations and rules and the Firm’s policies, procedures and standards.
- Advise the PWM Business Unit on all regulatory Compliance matters
- Work closely with PWM Management on new business proposals and regional projects as well as represent Compliance in relevant committee meetings.
- Develop policies and procedures to facilitate compliance with laws, regulations and rules and the Firm’s policies, procedures and standards and industry best practice, and monitor for compliance with these policies and procedures.
- Maintain Compliance documentation including Compliance Notices, rules database, and Compliance plans.
- Perform periodic and ad hoc surveillance of sales and advisory activities.
- Conduct periodic desk reviews/audits of the firm’s activities.
- Provide oversight to ensure staff are properly registered and licensed.
- Monitor regulatory developments and communicate such to the relevant staff.
- Assist with internal, external and regulatory inspections and audits.
- Handle ad hoc regulatory enquiries.
- Provide Compliance training to the Business and Infrastructure Units.

**What you'll need to succeed**
- Minimum 5-8 years of relevant working experience in the financial services industry in Compliance or related fields.
- A strong private banking and/or Singapore regulatory background will be advantageous.
- Excellent verbal and written English communication skills.
- Strong analytical skills, thoughtful.
- Detail-oriented.
- Fast learner.
- Ability to act independently.
- Good team player.

**What you'll get in return**
- Be part of a top tier International Bank in Singapore
- Career development and top-notch employee opportunities
- Forward-looking environment defined by open communication, collaboration, learning and dedicated career management.

**What you need to do now**

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career, please reach Kalpana Charles at +603 7611 8666

Hays Registration Number: 200609504D, EA License: 07C3924, Registration ID Number: R22108490

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